Provisions of Federal Laws Relating to the Securities Act of 1933 as AmendedU.S. Government Printing Office, 1936 - Broj stranica: 5 |
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52 Stat Act as heretofore application approved August certificates of deposit certificates of indebtedness common carrier consideration approved contained in chap creditor or shareholder dealer debtor in possession debtor or partly deemed to refer deposit agreements Excerpt from subdivision exempt existing obligations hereafter amended heretofore or hereafter Interstate Commerce Act Interstate Commerce Commission issuance of securities issue certificates issue of securities issuer listed and registered meanings provided National Bankruptcy Act national securities exchange NOTE.-Sec obtained prior offering price order authorizes otherwise than pursuant par value payments over existing person plan of reorganization priority in payments privilege so issued provisions of section railroad corporation reads as follows rier rule or regulation rules and regulations section 20a section 77B section 77B h Securities Exchange Act securities issued pursuant securities or claims solicited or obtained suant subsection term Securities Act terms and conditions thereof tions Trust Indenture Act trustee or trustees underwriter otherwise unlawful
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Stranica 6 - ... and may require or permit any person to file with it a statement in writing, under oath or otherwise as the Commission shall determine, as to all the facts and circumstances concerning the matter to be investigated.
Stranica 7 - ... and until, and then only to the extent that, upon application by the carrier, and after investigation by the Commission of the purposes and uses of the proposed issue and the proceeds thereof, or of the proposed assumption of obligation or liability in respect of the securities of any other...
Stranica 6 - ... suburban, or interurban electric railway which is not operated as a part of a general railroad system of transportation...
Stranica 9 - Act of 1933, as amended, shall file with the Commission, in accordance with such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors, such supplementary and periodic information, documents, and reports as may be required...
Stranica 3 - ... as to securities constituting the whole or a part of an unsold allotment to or subscription by such dealer as a participant in a distribution of such securities by the issuer or by or through an underwriter otherwise than pursuant to the plan.
Stranica 5 - Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Stranica 6 - ... in the prescribing of rules and regulations thereunder, or in securing information to serve as a basis for recommending further legislation concerning the matters to which this title relates.
Stranica 3 - Judge, upon such terms and conditions and with such security and priority in payment over existing obligations, secured or unsecured, as In the particular case may be equitable...
Stranica 6 - ... any person who willfully and knowingly makes, or causes to be made, any statement in any application, report, or document required to be filed under this title or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of section 15 of this title...
Stranica 2 - Commission may specify by rules and regulations or order, and (C) transactions as to securities constituting the whole or a part of an unsold allotment to or subscription by such dealer as a participant in the distribution of such securities by the issuer or by or through an underwriter.